New Webcast: IIROC and Client Identifiers Online Workshop 2

20-0212
Type: Education Notice
Distribute internally to:
Corporate Finance
Credit
Institutional
Internal Audit
Legal and Compliance
Operations
Registration
Regulatory Accounting
Research
Retail
Senior Management
Trading Desk
Training

Contact:

Evelyn Yallen
Manager, Corporate Communications
Telephone:
Email:

This workshop is geared towards technical staff at Dealer Members and their vendors. At this workshop, we will review:

  • implementation milestones leading up to the July 26, 2021 implementation date, including schedules for testing and certification
  • production rollout details for Dealer Members and marketplaces
  • encryption of client LEIs, including
    • technical specifications for encryption
    • enrollment process for Dealer Members
    • encryption key rotation process, including the delivery of encryption keys and the acknowledgement of receipt of keys by Dealer Members
    • sample encryption code.

Our presenters are:

  • Kevin McCoy, VP, Market Policy and Trading Conduct Compliance, Market Regulation Policy
  • Amit Patel, Director, Application Management Services, Information Technology
  • Helen Hogarth, Product Manager, Trading Review and Analysis / Market Surveillance
  • Stephen Weng, Manager, Surveillance Application Development, Information Technology
  • Vic Nyalakonda, Manager, Quality Assurance – Acting, Information Technology
  • Sid Patel, Senior Business Systems Analyst, Information Technology
  • Leanne Weaver, Senior Project Manager, Enterprise Portfolio Management Office

This webcast will be available for viewing on October 8, 2020 at 7:00 am Eastern time and on a 24/7 basis after that date.

Please note the French version of the webcast will be available in the coming weeks.

Your participation in this webcast will earn you 1.5 hours of IIROC Continuing Education Compliance Credits.

Click here to register

To register for this webcast, please click on the link above. To access a full list of available CE accredited webcasts, please click here.

To access all upcoming Member Education Services Events, simply subscribe to IIROC’s ePublications service at www.iiroc.ca and select the following categories: “Education Notices” and “Member Events.” ePublications is a free, self-managed system, whereby subscribers can change their selection criteria whenever and as many times as they want, making it a quick and easy way to receive information.